{"url":"https://nivawealth.com/firms/goldberg-financial-advisors-158147","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/158147","regulatoryAum":120324284,"crd":"158147","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5289617","suffix":null,"lastName":"GOLDBERG","firstName":"DANIEL","middleName":"JOSHUA"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-135873","legalName":"Goldberg Financial Advisors, LLC","displayName":"Goldberg Financial Advisors","slug":"goldberg-financial-advisors-158147","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"222 Pacific Coast Highway, 10th Floor","city":"El Segundo","state":"CA","stateName":"California","country":"United States","postalCode":"90245"},"tradeNames":[],"registration":{"secApproved":"20 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2085040.701754386,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":120324284,"discretionary":120324284,"discretionaryAccounts":236,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":18,"regulatoryAum":7635775},{"label":"High-net-worth individuals","clients":39,"regulatoryAum":111211545},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":46980},{"label":"Corporations and other businesses","clients":2,"regulatoryAum":1429984}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043070","versionId":1043070,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-04-28","documentName":"FORM ADV PART 2A - FIRM BROCHURE","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting","summary":"Hourly fees of $500 for financial planning and consulting services.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043070","versionId":1043070,"submittedOn":"2026-04-28","documentName":"FORM ADV PART 2A - FIRM BROCHURE"},{"role":"other","program":"Retirement Plan Consulting","summary":"Billed hourly up to $750, as a flat fee from $5,000 to $100,000 a year, or at 0.50% a year of managed plan assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043070","versionId":1043070,"submittedOn":"2026-04-28","documentName":"FORM ADV PART 2A - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:22:12.796087+00:00","documents":[{"name":"FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043070","versionId":1043070,"submittedOn":"2026-04-28"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":120324284}],"custodyNote":"Goldberg Financial Advisors has custody of $8.54M in client assets for 3 clients.","otherCustodians":[],"leadership":[{"name":"Daniel Goldberg","title":"Managing Member and Chief Compliance Officer","crd":"5289617"}],"ownership":[{"label":"Daniel Goldberg","detail":"Managing member and chief compliance officer in the 75% or more ownership band and a control person, since May 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"222 Pacific Coast Highway, 10th Floor","city":"El Segundo","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-995-3396","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"U.S. government/agency bonds","percent":25},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":5},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":50},{"label":"Other","percent":2,"detail":"2 Private Reits Custodied at Charles Schwab - Blackstone Reit + Lone Oak Fund"}],"privateFunds":0},"sources":{"adv1FilingDate":"28 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/158147/PDF/158147.pdf","brochureDate":"28 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043070","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Goldberg Financial Advisors have?","answer":"Goldberg Financial Advisors has 60 clients and manages $120 million for them, as of April 2026. They include 39 high-net-worth individuals, 18 individual clients, and 2 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Goldberg Financial Advisors offer?","answer":"Goldberg Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Goldberg Financial Advisors charge?","answer":"Goldberg Financial Advisors charges 1.00% a year for its Comprehensive Portfolio Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"FORM ADV PART 2A - FIRM BROCHURE, filed 28 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Goldberg Financial Advisors use?","answer":"Goldberg Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $120M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Goldberg Financial Advisors have?","answer":"Goldberg Financial Advisors has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Goldberg Financial Advisors invest in?","answer":"At the end of its last fiscal year, Goldberg Financial Advisors’ separately managed accounts held 50% registered funds (mutual funds, ETFs, BDCs), 25% U.S. government and agency bonds, 15% exchange-traded equities, 5% investment grade corporate bonds, 2% high-yield corporate bonds, 2% other and 1% state and local bonds. The 2% other category is described as: 2 Private Reits Custodied at Charles Schwab - Blackstone Reit + Lone Oak Fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Goldberg Financial Advisors have a minimum investment?","answer":"Yes, Goldberg Financial Advisors’ minimum account size for its Comprehensive Portfolio Management is $500K.","source":"FORM ADV PART 2A - FIRM BROCHURE, filed 28 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Goldberg Financial Advisors?","answer":"Goldberg Financial Advisors’ direct owner is Daniel Goldberg (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Goldberg Financial Advisors get paid?","answer":"Goldberg Financial Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Goldberg Financial Advisors?","answer":"Goldberg Financial Advisors’ main office is at 222 Pacific Coast Highway, 10th Floor, El Segundo, CA 90245. Its phone number is 310-995-3396.","source":"Form ADV Part 1A, Item 1.F, filed 28 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}